Enhance CASS Oversight with Automated Governance Workflows
Enhance CASS oversight with automated reconciliations, structured governance workflows, and real-time reporting to reduce risk and ensure continuous compliance.
Client Assets (CASS & CAR)
AI-powered client assets compliance, mapped rule-by-rule to your risks and controls. Protecting client money and custody assets is one of the highest priorities for both the FCA, under its Client Assets Sourcebook (CASS), and the Central Bank of Ireland, under its Client Asset Requirements (CAR) - and one of the most unforgiving regimes to get wrong.
With several hundred individual rules, auditors expect a line-by-line mapping to your processes, risks, and controls. Ruleguard maintains that mapping continuously, and keeps the supporting documentation - the FCA CASS Resolution Pack and the CBI Client Asset Management Plan - current with the evidence trail your auditor and the regulator expect.
With several hundred individual rules, auditors expect a line-by-line mapping to your processes, risks, and controls. Ruleguard maintains that mapping continuously, and keeps the supporting documentation - the FCA CASS Resolution Pack and the CBI Client Asset Management Plan - current with the evidence trail your auditor and the regulator expect.
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ISO 27001
TRUSTED BY LEADING FINANCIAL INSTITUTIONS
The Challenge
Several hundred rules, each mapped to your controls
The client assets regimes are detailed and prescriptive - the FCA's CASS sourcebook and the CBI's Client Asset Requirements each run to several hundred individual rules - and the consequences of a breach are severe.
Auditors expect every applicable rule to be mapped, line-by-line, to your processes, risks, and controls. Most firms build that mapping once, in a spreadsheet, and only revisit it when the annual audit comes around. By then processes have moved on, controls have changed, and the mapping no longer reflects reality.
Auditors expect every applicable rule to be mapped, line-by-line, to your processes, risks, and controls. Most firms build that mapping once, in a spreadsheet, and only revisit it when the annual audit comes around. By then processes have moved on, controls have changed, and the mapping no longer reflects reality.
Mapping at scale
tracing several hundred individual rules through to the specific processes, risks, and controls that satisfy each one is a substantial, painstaking exercise that auditors scrutinise in detail
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Mapping that goes stale
the line-by-line mapping is built once and rarely refreshed, so as processes and controls change the coverage drifts, leaving gaps that only surface during audit
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Painful audit preparation
the FCA CASS Resolution Pack (RP), the CBI Client Asset Management Plan (CAMP), and supporting evidence are scattered across systems, making audit a fire drill of document gathering and reconciliation
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Fragmented evidence
control assessments, breach records, and reconciliations sit in disconnected systems, with no single trail to demonstrate compliance to the auditor or the regulator
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The Solution
A continuously mapped, audit-ready programme
Ruleguard replaces the once-a-year spreadsheet with a continuously maintained programme. A central repository holds the full rule set for each applicable regime, agents map every rule to your processes, risks, and controls, and the supporting documentation, the FCA CASS Resolution Pack or the CBI Client Asset Management Plan, updates with a single click. Control assessments, breaches, and reconciliations are tracked in one place, so audit becomes a review of evidence that already exists, not a scramble to assemble it.
Central rule repository
An electronic feed delivers the full rule set, the FCA's Client Assets Sourcebook (CASS) and the CBI's Client Asset Requirements (CAR) - directly from the regulatory source into a central repository. Rules are always the current version, and on the occasions they do change, agents trace each amendment through to the processes, risks, and controls it affects.
Agent-driven line-by-line mapping
Agents map your processes, risks, and controls to each of the several hundred applicable rules - CASS 6 custody, CASS 7 client money, CASS 10 records, accounts and the Resolution Pack, and the equivalent CAR provisions. This is the line-by-line mapping auditors expect, maintained continuously rather than rebuilt once a year, with gaps flagged for review as your controls change.
Single-click RP and CAMP
The FCA's CASS Resolution Pack (mandated by CASS 10) and the CBI's Client Asset Management Plan (CAMP, mandated under CAR) are generated from live data and refreshed with a single click. No more rebuilding documents by hand - each reflects your current arrangements, mappings, and controls the moment they change.
Control assessment & breach management
Assess control design and effectiveness against the mapped rules, and log, track, and remediate client assets breaches in one workflow. Reconciliation oversight and transfer agent controls are monitored against defined thresholds, with automatic escalation when something falls out of line.
Governance
Human-in-the-loop governance
Client assets decisions, breach classification, control sign-off, resolution pack attestation - demand the judgement of the Senior Manager holding the Prescribed Responsibility for client assets and the compliance team. Ruleguard provides the data and the structure:
Full Review
Every rule mapping change and control assessment reviewed by your CASS oversight team before it is signed off. Essential for the most material custody and client money arrangements.
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Exception-based
routine reconciliations and unchanged mappings processed automatically; only breaches, threshold exceptions, and rule-change impacts escalated for attention.
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Autonomous
rule-feed updates, resolution pack regeneration, and evidence collation handled by the platform.
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You define what requires human judgement. The platform respects those boundaries.
Why Ruleguard
Built for firms that can't afford to get it wrong
One platform, not a point solution
Client assets compliance connects to operational risk, incident and breach management, and audit. On Ruleguard, a client assets breach automatically informs your risk register and breach log, and control evidence is visible across these related areas - rather than locked inside a standalone tool.
Four layers of context
Rule mappings, control libraries, reconciliation frequencies, and breach thresholds are configured to match your firm's client assets arrangements, regulatory permissions, and business model - so the programme reflects how you actually hold and protect client assets under the regimes that apply to you.
Certified and audited
ISO 27001 for information security. Multi-jurisdiction data residency. Built for the most demanding regulated environments.
Measurable impact
Move from point-in-time mapping to a continuously maintained programme. Keep the Resolution Pack and CAMP current automatically. Cut audit preparation time - and give your accountable Senior Manager and board clear visibility of client assets compliance.
Ruleguard is ISO 27001 certified - built for the most demanding regulated environments. Every accountability decision is logged, timestamped, and traceable. Implementation is measured in weeks, not months.
Built for Regulated Firms
Enterprise-grade compliance
Ruleguard is built to the standards financial regulators and auditors expect — not retrofitted to meet them.
